Matthew T. Toole
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Timothy Toole, who also goes by Matt Toole, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1992. Matthew had worked at 9 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2016 - September 6, 2016
MERRIMAN CAPITAL, INC.
February 24, 2010 - January 5, 2016
B. RILEY & CO., LLC
December 11, 2008 - February 25, 2009
GARDEN STATE SECURITIES, INC.
July 23, 2003 - December 10, 2008
FIRST MONTAUK SECURITIES CORP.
November 14, 2001 - November 25, 2002
FIRST MONTAUK SECURITIES CORP.
May 28, 1999 - November 12, 2001
SSC NY CORP.
November 17, 1997 - May 28, 1999
FIRST MONTAUK SECURITIES CORP.
February 20, 1996 - November 19, 1997
DONALD & CO. SECURITIES INC.
May 23, 1995 - February 9, 1996
LADENBURG CAPITAL MANAGEMENT INC.
January 16, 1995 - March 28, 1995
EWING CAPITAL, INC.
March 27, 1992 - December 7, 1994
HUBERMAN FINANCIAL INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/4/1999
Limited Representative-Equity Trader ExamCurrent Firm
MERRIMAN CAPITAL, INC.
CRD#: 18296 / SEC#: , 8-36420
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
